Job Description

Job Summary:

Under limited supervision, uses specialized knowledge and skills obtained through experience, specialized training or certification to detect possible rules violations to ensure adherence to securities industry regulations and limit firm liability.  Lead and support associates during functional reviews and provide advanced support to our PCG Branch departments, focusing specifically on the policies and procedures required by applicable regulations and firm policy. Effectively and professionally coordinate with senior members of Supervision, other managers, and advisors in order to guide and influence decisions that mitigate risk and align with the firm’s culture and strategy. 
 
Essential Duties and Responsibilities:

• Performs human resources management activities, including identifying/correcting performance problems and participating in interviewing and selecting staff
• Plans, assigns, monitors, reviews, evaluates, and leads the work of others.
• Coaches and mentors subordinates, identifies training needs, and recommends appropriate development
• Interfaces with Compliance, Supervision, Legal, and associates to inform them of any supervisory concerns that may arise with branch office managers/FAs and works together with them to address these concerns
• Conducts Electronic Communications reviews accurately and timely. 
• Serve as a trusted business partner to our Financial Advisor and/or Home Office teams by providing expertise with regulatory matters and Raymond James policies.
• Assists in developing training programs
• Prepares and delivers written and oral presentations to business units.
• May participate in the formation of Supervision policies
• Acts as a mentor to new associates by sharing resources and encouraging their growth
• Takes on complex and extensive projects in coordination with Senior Management
• Develops new procedures and best practices for workflows
• Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities:

Knowledge of:

• Company’s working structure, policies, mission, and strategies.
• General office practices, procedures, and methods.

• Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies; and/or Federal Deposit Insurance Corporation (FDIC); Office of the Comptroller of the Currency (OCC); Federal Financial Institutions Examination Council (FFIEC); Office of Thrift Supervision (OTS); Federal Reserve System; and state banking regulatory agencies.

• Fundamental investment concepts, practices and procedures used in the securities industry.

• Principles of banking and finance and securities industry operations.

• Financial markets and products.

Skill in:

• Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, presentations, and databases.
• Critical thinking and decision-making, involving the interpretation of regulatory rules and compliance policies.
• Detail orientation to ensure the regulatory liability is limited, without impairing workflow. 

Ability to:

• Independently manage and complete multiple projects and tasks; work independently with minimal direct supervision.
• Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels including branch managers/FAs. 
• Establish and communicate clear directions and priorities. 
• Provide a high level of customer service.

Licenses/Certifications:

• Series 7,24,66 license(s) for assigned functional area required.

• Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred

Salary Range: $100,000 - $110,000

Education

Bachelor’s

Work Experience

General Experience - 6 to 10 years

Certifications

Other License Not Listed - Other

Travel

Less than 25%

Workstyle

Hybrid

At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm’s core values of client-first, integrity, independence and a conservative, long-term view. 

We expect our associates at all levels to:
•  Grow professionally and inspire others to do the same
•  Work with and through others to achieve desired outcomes
•  Make prompt, pragmatic choices and act with the client in mind
•  Take ownership and hold themselves and others accountable for delivering results that matter
•  Contribute to the continuous evolution of the firm

At Raymond James – as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates.  When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs. 

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